As you get back to business after ringing in the New Year, the SEC may be preparing to give your firm a ring. See what surprising (and not so surprising) areas the examiners plan to focus on in 2013, culled from the SEC’s latest Agency Financial Report. Spoiler alert: Technology risks make the agency’s top 4 list.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
Recent ComplianceCast™ Minutes